RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M••••• L•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 11, 2023 · Peoria, Az
- O•••• F•• I••• formerNov 2, 2015 to Aug 23, 2023 · Scottsdale, Az
- E•••••••• A•••••••• L•• national BDNov 28, 2012 to Nov 2, 2015 · Fountain Hills, Az
- O•••• F•• I••• to L•• F•••••••• L••left Aug 23, 2023, registered Sep 11, 2023 (19 days) · Affiliated broker-dealer or bank to another · moved with a team
- E•••••••• A•••••••• L•• to O•••• F•• I•••left Nov 2, 2015, registered Nov 2, 2015 (0 days) · Other
- M••••• L••••••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2023-09-11)Aug 23, 2023 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address